Compliance Record Keeping



Every compliance program must address well-defined objectives, which will add value, toward the achievement of the organization’s goals and objectives. Compliance records management programs must manage organizational information so that it is timely, accurate, complete, cost-effective, accessible and useable. Better information, at the right time, makes better compliance. The outcome for this learning unit is to understand how to keep records relating to compliance reporting in a practical manner.


Focus Area


  • Explain the importance of compliance record keeping
  • Discuss the reasons for keeping records.
  • Discuss the need for a record-keeping policy and which aspects of record-keeping it should address.
  • Discuss the mechanisms that may be designed and implemented to enable various aspects such as security, safety and retrievability of records
  • Identify and evaluate which aspects should be addressed to ensure that record-keeping facilities are adequate.
  • Discuss the need to assess the legal, regulatory and other requirements relating to retention periods of records.


  • Be able to develop a record management plan that addresses period, manner, and security and retrievability issues

Who should register?

Financial planners, financial advisors, compliance officers

CPD information




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